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Brian Booth Formerly With Stifel, Nicolaus & Company Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Brian Booth formerly with Stifel, Nicolaus & Company?

Brian Booth (CRD #5811645) who was formerly registered with Stifel, Nicolaus & Company and located in Crown Point, Indiana is a subject of one of our many securities industry sales practice abuse investigations.

Brian Booth Customer Complaints

Brian Booth has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Brian Booth’s 2 customer complaints was settled in favor of investor. One of Brian Booth’s customer complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Brian Booth

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unauthorized trading in common and preferred stocks.
  • Failure to advise customer of the tax consequences, penalties, and losses that would result from the surrender of a variable annuity.

Brian Booth Red Flags & Your Rights As An Investor

Of course, Brian Booth did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Booth at Stifel, Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Brian Booth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company Due To Brian Booth

If you have questions about Stifel, Nicolaus & Company and/or Brian Booth and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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